Compliance Control Room Specialist

4 weeks ago

New York, New York, United States Wedbush Securities Full time
Job Description

Wedbush Securities is a leading investment bank that provides innovative financial solutions through its Wealth Management, Capital Markets, Futures, and Advanced Clearing & Prime Services divisions.

We are seeking an AVP, Compliance Control Room, who will oversee controls designed to mitigate conflicts of interest, protect confidential information, and preserve the integrity of the firm's information barriers.

This is a hybrid role that can be based in Los Angeles or New York City.

Responsibilities
  • Analyze data and derive insights and risk indicators using business intelligence tools.
  • Assist in implementing information barrier policies and procedures by maintaining watch and restricted lists, deal lists, and handling conflicts clearance.
  • Monitor employee personal trading and electronic communications and perform periodic compliance testing/surveillance.
  • Monitor employee gift & entertainment, political contributions, and outside business activities.
  • Communicate with Sales, Trading, Research, Investment Banking personnel regarding specific firm transactions and compliance-related issues.
  • Participate in the drafting of compliance-related policies and procedures, making recommendations to develop or enhance business unit procedures as they relate to Compliance Control Room (CCR).
  • Act as the gatekeeper and chaperone with respect to permitted conversations between the restricted groups of employees and potential compliance issues arising out of monitored interactions.
  • Respond to compliance-related questions from management and staff.
  • Assist in keeping the CCR current on relevant regulatory changes.
  • Develop and implement compliance-related monitoring and compliance metrics relevant to CCR functions; performing and/or overseeing information for compliance reporting to management.
  • Develop, coordinate, and deliver initial and ongoing training for employees on compliance requirements of designated laws, regulations, and policies.
  • Analyze and report on relevant risk indicators and assist in identifying and remediating emerging compliance risks.
  • Manage multiple, deadline-oriented tasks in a fast-paced environment.
  • Respond to regulatory inquiries, interacting with regulatory examiners and internal auditors, and provide advice and guidance to business partners.
  • Perform other duties as required and assigned.
Requirements
  • Bachelor's Degree from an accredited university required.
  • Minimum 5 years experience at a registered broker-dealer, investment manager, or US bank.
  • Solid understanding of the nature of protection of information, in particular managing confidential and material non-public information.
  • Understanding of FINRA, SEC, and other regulatory requirements.
  • Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint).
  • Ability to manage controls to prevent and detect insider trading by employees.
  • Highly organized with the ability to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency.
  • High levels of ethics, integrity, and judgment.
  • Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization.
  • Extremely detail-oriented, strong analytical, problem-solving, and critical-thinking skills.
  • Self-starter able to work independently with minimal supervision as well as within a fast-paced team environment.
Benefits
  • Comprehensive medical, dental, and vision coverage with multiple health plan options.
  • Health Savings Account (HSA) with company-sponsored contributions.
  • Flexible Spending Accounts (FSA) traditional and dependent care.
  • Pre-Tax Commuter Benefits.
  • 401(k).
  • Competitive discretionary company matching and profit-sharing contributions.
  • Tuition reimbursement ($5,250 max per year).
  • Paid Vacation, Sick Time, Holidays, Volunteer Time Off.
  • Paid Leave: Parental Bonding, Jury Duty, Military, Disability, etc.
  • FINRA and Professional License Sponsorship.
  • Charitable Donation Matching Contributions.
  • Travel & Employee Assistance and Employee Discount Programs.
  • Discretionary compensation based on the colleague's and the firm's performance.

The reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current range is $105,000-$120,000. Colleagues may be eligible for additional, discretionary incentive compensation based on the colleague's and the firm's performance.

At Wedbush, it is not typical for an individual to be hired at, or near, the top of the range for their role.

Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs.

Wedbush Securities (WS) is proud to be an Equal Employment Opportunity employer.

WS does not discriminate based on race, religion, color, creed, sex, sexual orientation, gender, gender identity or expression, national origin, ancestry, citizenship status, registered domestic partner status, uniform service member status, marital status, pregnancy, age, medical condition, disability, genetic information, family care or medical leave status, or any other consideration made unlawful by applicable federal, state, or local laws, or on the basis that an applicant or Colleague is perceived to have these characteristics or is associated with someone who is perceived to have these characteristics.

WS aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm as well as provided equal opportunities to succeed.

Wedbush uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States.

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